DFX Intelligence
Firms
SEC-registered investment advisersAbout this listOne row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list.Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
17,149 advisers
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Stokes Family Office LLC CRD 300899 | New Orleans, LA | independent RIA | $3.4B | 74% | 12 | $279M | 2 | 0 |
| Summitry, LLC CRD 128586 | Foster City, CA | independent RIA | $3.4B | 94% | 27 | $124M | 2 | 0 |
| Ducenta Squared Asset Management CRD 308920 | El Segundo, CA | other | $3.3B | 17% | 4 | $837M | 2 | 0 |
| M••••• C•••••• L• CRD 285940 | Houston, TX | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 2 |
| W•••••• C•••••• P••••••• ••• L• CRD 320777 | Stamford, CT | asset manager | $3.3B | 0.0% | 0 | Not computed | 1 | 2 |
| N•••••••• C•••••• CRD 160608 | Radnor, PA | asset manager | $3.3B | 0.0% | 0 | Not computed | 2 | 27 |
| R•••••••• P••••••• L• CRD 311156 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 5 |
| R•• C•••• I••••••••• M••••••••• CRD 170939 | Grand Rapids, MI | other | $3.3B | 0.0% | 8 | $416M | 1 | 1 |
| L•••••• I••••••••• M••••••••• S••••••••• CRD 111179 | Baltimore, MD | asset manager | $3.3B | 0.8% | 0 | Not computed | 0 | 0 |
| M••••• A•••• M••••••••• I••• CRD 105794 | Dublin, OH | asset manager | $3.3B | 0.5% | 1 | $3.3B | 0 | 0 |
| V•• C•••••• M••••••••• L• CRD 289128 | Dallas, TX | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 4 |
| A••••• I••••••••• M••••••••• L••• CRD 130610 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 28 | 0 |
| A••• I•••••••• CRD 325320 | Glenview, IL | asset manager | $3.3B | 0.1% | 2 | $1.7B | 1 | 0 |
| S•••••••• I••••••••• A••••••• L•• CRD 149040 | Phoenix, AZ | other | $3.3B | 0.1% | 6 | $552M | 0 | 0 |
| S•••••• I••••••••• M••••••••• L•• CRD 283850 | Beachwood, OH | asset manager | $3.3B | 0.0% | 6 | $552M | 1 | 0 |
| S•••••••• D•••• W••••• M••••••••• A•••••••• L• CRD 128591 | Pittsburgh, PA | independent RIA | $3.3B | 57% | 22 | $150M | 1 | 0 |
| S••••••• C•••••• R••••••• • M••••••••• I••••••••• CRD 106201 | Chicago, IL | other | $3.3B | 3.9% | 0 | Not computed | 0 | 3 |
| C•••••••• L•• CRD 129505 | North Palm Beach, FL | independent RIA | $3.3B | 73% | 23 | $144M | 11 | 27 |
| P••••• I••••••••• M••••••••• I••• CRD 105675 | Goshen, IN | asset manager | $3.3B | 0.0% | 1 | $3.3B | 0 | 0 |
| X•• F•••••••• G•••• CRD 284987 | Bethesda, MD | independent RIA | $3.3B | 97% | 28 | $118M | 25 | 0 |
| S•••• V••••••• M••••••••• C•••••• L• CRD 299799 | West Hollywood, CA | asset manager | $3.3B | 0.0% | 0 | Not computed | 1 | 21 |
| E•••••• A•••••••• L•• CRD 107496 | Leola, PA | institutional | $3.3B | 0.0% | 3 | $1.1B | 1 | 0 |
| G••••••• P••••••• I••• CRD 324189 | Toronto, Ontario, | independent RIA | $3.3B | 62% | 6 | $549M | 2 | 0 |
| P••••• C•••••• P••••••• L•• CRD 144651 | Edinburgh, | asset manager | $3.3B | 0.0% | 0 | Not computed | 2 | 13 |
| A••••• C•••••• P•••••••• L• CRD 226714 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 2 |
| I•••••• W•••••• L•• CRD 289913 | Grand Rapids, MI | independent RIA | $3.3B | 85% | 18 | $183M | 2 | 2 |
| K••••••••• A••••••• L•• CRD 111043 | Bartlesville, OK | asset manager | $3.3B | 0.0% | 0 | Not computed | 1 | 43 |
| F•••••• I•••••••• L•• CRD 140010 | Los Angeles, CA | other | $3.3B | 0.0% | 2 | $1.6B | 0 | 1 |
| F••••••••• P••••••• L• CRD 311055 | Austin, TX | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 15 |
| V••••• C•••••• M••••••••• CRD 170125 | Winston-Salem, NC | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 1 |
| M•••••• C•••••• CRD 161012 | New York, NY | other | $3.3B | 0.1% | 0 | Not computed | 1 | 12 |
| R•••••••• E••••• C••••••••• CRD 142136 | Houston, TX | asset manager | $3.3B | 0.0% | 0 | Not computed | 1 | 4 |
| G•••••••• C•••••• L•• CRD 281654 | London, | asset manager | $3.3B | 0.0% | 0 | Not computed | 1 | 0 |
| W•••••••• R••• C•••••• M••••••••• L•• CRD 156675 | Lincoln, NE | mixed wealth | $3.3B | 27% | 0 | Not computed | 0 | 4 |
| P•••••• CRD 105413 | Bethesda, MD | asset manager | $3.3B | 5.4% | 24 | $137M | 0 | 0 |
| C•••••• I••• CRD 323534 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 0 |
| D••••••••• P••••••• C•••••• M••••••••• L• CRD 311926 | Greenbrae, CA | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 2 |
| G••••••••• L•• CRD 150884 | Cleveland, OH | asset manager | $3.3B | 0.0% | 1 | $3.3B | 0 | 2 |
| N•••••••• I••••••••• M••••••••• I•• CRD 105051 | Boston, MA | independent RIA | $3.3B | 96% | 9 | $364M | 1 | 0 |
| T•••••••• A••••••• L• CRD 330605 | West Palm Beach, FL | asset manager | $3.3B | 0.0% | 0 | Not computed | 1 | 0 |
| B•••••••• A••••••• L•• CRD 316715 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 1 | 9 |
| F••••• I••••••••• A•••••••• L•• CRD 161548 | Boston, MA | asset manager | $3.3B | 0.0% | 0 | Not computed | 1 | 8 |
| A•••••• C•••••• P•••••••• L• CRD 337895 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 1 |
| Y••• C•••••• M••••••••• CRD 140336 | New Y•••, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 17 |
| P•• A••••••• CRD 173344 | Phoenix, AZ | independent RIA | $3.3B | 97% | 81 | $40.3M | 131 | 0 |
| S•• R••••••• G•••• L•• CRD 161109 | Northbrook, IL | asset manager | $3.3B | 1.8% | 1 | $3.3B | 0 | 7 |
| G•••• C•••••• M••••••••• I••• CRD 137842 | New York, NY | asset manager | $3.3B | 0.0% | 0 | Not computed | 0 | 4 |
| B••• A••••••• CRD 139096 | Montgomeryville, PA | independent RIA | $3.3B | 83% | 19 | $171M | 0 | 0 |
| M•••••••• W••••• A•••••••• L•• CRD 173949 | Manhattan Beach, CA | independent RIA | $3.2B | 91% | 9 | $361M | 0 | 0 |
| A••••••• W••••• M••••••••• L•• CRD 141943 | Atlanta, GA | independent RIA | $3.2B | 85% | 30 | $108M | 5 | 0 |
The firm names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.